Investment Compliance Manager in well known asset manager
Achievers Recruitment Limited
Hong Kong, Hong Kong

Job responsibilities :

  • Work closely with portfolio managers and trading team to monitor pre-trade and posttrade activities (using Bloomberg system) and providing real time support on trading restrictions, monitoring and approvals
  • Reporting and escalating investment breaches internally and to investigate issues where appropriate
  • Acting as the primary point of contact for investment compliance enquiries in relation to fixed income and equity investments, as well as liaisons with regulator(s)
  • Acting as the primary contact point of custodian(s) / trustee(s) and other counterparties including reviewing their investment restrictions setup, handling due diligence matters, breach reporting and on-site visits etc.
  • Investment rules coding and new client onboarding reviewing and testing investment restrictions and programming new investment rules (using Bloomberg system) in accordance with client and regulatory requirements
  • Managing the regulatory reporting process and coordinating with auditors, fund accountants and other service providers
  • On-going monitoring, identifying and reviewing risks regularly and recommend remedial and mitigation measures
  • Handling relevant internal reporting and regulatory reporting in relation to investment compliance
  • Requirements :

  • 5 years or above of experience in investment compliance on the buy side
  • Strong coding experience in investment compliance monitoring using Bloomberg system
  • Solid knowledge of fixed income and equities investments and familiar with derivatives instruments
  • Excellent communication skills and ability to build good working relationships with internal stakeholders
  • Proficient in Microsoft applications including MS Excel VBA, Word and PowerPoint
  • Experience with an asset manager focusing on regulatory reporting and / or fund administration is a definite advantage
  • A good team player, mature, responsible, detail minded, with the ability to handle multiple tasks independently under pressure
  • Interested parties please send your resume to amandaso Personal data collected will be used for recruitment purpose only


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